Date 2

Jitu Thaker Technical Officer, Facilitation

API: ICAO’S Regulatory Role

Advance Passenger Information (API) Workshop (26 October 2017)

Chicago Convention, 1944 Article 10: Landing at customs airport Article 11: Applicability of air regulations Article 13: Entry and clearance regulations Article 14: Prevention of spread of disease Article 22: Facilitation of formalities Article 23: Customs and immigration procedures Article 24: Customs duty Article 29: Documents carried in aircraft Article 35: Cargo restrictions Article 37: Adoption of international standards and procedures

http://www.icao.int/publications/Pages/doc7300.aspx

Annex 9 ― Facilitation was developed:

→ to elaborate States’ obligations under Articles 22, 23, 24 of the Chicago Convention → to standardize procedures for meeting legal requirements under Articles 10, 13, 14, 29, 35 of the Chicago Convention

─Standards have a conditional binding force: legally binding unless “differences” filed pursuant to Article 38 of the Chicago Convention ─ Recommended Practices are “recommendations”: they have no binding force →Annex 9 contains both Standards and Recommended Practices [“SARPs”] on API

API: What is it? . . . the collection of passenger’s and/or crew member’s

biographic data and flight details by the aircraft operator; . . . the electronic transmission of the data to border control agencies prior to flight departure or arrival Collection of data in DCS: flight “open” for check-in (24 – 48 hours before the flight)

7

API Biographic Data Elements in MRZ 1. Travel Document Number 2. Issuing State or Organization 3. Travel Document Type 4. Expiration Date of Document 5. Surname/Given names(s) of holder 6. Nationality 7. Date of Birth 8. Sex of holder + 3 if Machine Readable Visa Used 9. Visa number 10. Date of issuance of visa 11. Place of issuance of visa + 2 if other secondary travel document used 12. Type of travel document (e.g. Resident card) 13. Number of other travel document

Elements re. Flight Details in API: examples • Airline Code and Flight Number • Scheduled Local Departure Dates/Times • Scheduled Local Arrival Dates/Time • Number of Passengers and Number of Crew Members • Seat Assignment • Bag Tag Identification • Checked Bag Quantity and weight • Place/Port of Original Embarkation • Place/Port of Clearance • Passenger Name Record Locator Number (or unique identifier)

API Regulatory Framework: Annex 9 (15th Edition, October 2017)

(new) Chapter 9: Passenger Data Exchange Systems Advance Passenger Information (API) Electronic Travel Systems (ETS) Passenger Name Record (PNR) data

Advance Passenger Information

9.5 Each Contracting State shall establish an Advance Passenger Information (API) system.

9.6 The API system of each Contracting State shall be supported by appropriate legal authority (such as, inter alia, legislation, regulation or decree) and be consistent with internationally recognized standards for API.

►Note 1: Brief description of API ►Note 2: UN/EDIFACT PAXLST message: electronic passenger manifest transmissions ►Note 3: Non-applicability of PAXLST to general aviation ►Note 4: PAXLST defined by internationally recognized WCO/IATA/ICAO guidelines. [*RP 9.7: legislation → more information]

Standard 9.8: Identifying information ─ only data elements ─ machine

readable form ─ Doc 9303; All information to conform to UN/EDIFACT PAXLST ─ WCO/IATA/ICAO API Guidelines.

Standard 9.9: More information required ─ process

established by the WCO, ICAO and IATA [→ API/PNR Contact Committee]

WCO/IATA/ICAO API GUIDELINES & INFORMATION ICAO: https://www.icao.int/Security/FAL/Pages/Publications.aspx WCO: http://www.wcoomd.org/en/topics/facilitation/instrument-and-tools/tools/api-pnr.aspx IATA: http://www.iata.org/iata/passenger-data-toolkit/presentation.html

Operational issues: 2 Standards (9.11, 9.13) & Recommended Practices (RP 9.2,

9.3, 9.4, 9.10, 9.12, 9.16) Recommended Practice 9.1: Passenger Data Single Window

facility → RP 9.7: “. . . appoint one government agency to receive API data on behalf of all other agencies.”

→ Other relevant Standards of Annex 9: Three additional standards to coordinate the implementation of API

STD 8.17 – State to establish a National AT FAL Programme STD 8.18 – [sets out the Objective of a NATFP] STD 8.19 – State to establish a National AT FAL Committee to coordinate activities: departments/agencies responsible for various FAL aspects of international civil aviation [civil aviation; Customs; immigration; health; quarantine; passport & visa-issuing authorities; tourism; trade; police; etc.] →Model NATFP (Doc 10042)

API Legislation 1. 9.6: legal authority; RP 9.7: a) regulations meeting needs of all agencies; b) data

elements; c) one agency

2. First step: to enact legislation/regulations/etc.

3. Areas to be addressed in legislation (examples):

3.1 UN/EDIFACT PAXLST for API transmission (9.8, 9.9, 9.6 Notes)

3.2 Purposes for which API required (API Guidelines; A39-20) ►Improve clearance at border controls ►Combat illegal migration ►Identify passengers who are a known immigration or security threat ►More effective allocation of border control and law enforcement resources

►improve/enhance security (generally) & aviation security ►threat assessment value from analysis of data

►fight against terrorism: e.g., UN SC Res 2178 (2014) & 2309 (2016) → UNSCR calls upon States to require that airlines operating in their territories provide advance passenger information

3.3 Data elements required (9.8, 9.7)

4. “Passenger Data Single Window” to receive API transmissions (RP 9.1; Definition; RP 9.7)

→ Single data entry point (i.e. one agency designated) → Internal sharing of information with other agencies → Effective, Efficient, Economical → Reduces errors in data transmission; better use of IT → Strengthen airline ↔ Government information sharing → *Enhance coordination and cooperation among agencies* 5. Internal coordination among Government agencies (8.17-8.19; 9.7; API Guidelines): Customs, immigration, police, aviation security, border security, etc.

6. Data privacy issues (A39-18, Appendix C, para. 8; Declaration on Aviation Security; A39-20, Appendix D)

7. Financial aspects (RP 9.12) 8. General legal issues, including legal remedies (RP 9.12) 9. Operational aspects (Standards 9.11, 9.13 & RP 9.2, 9.3, 9.4, 9.10, 9.12, 9.16) 10. (Paper) Passenger Manifest requirement not required (Std 9.13) 11. Relationship with supranational entities, e.g. EU 12. Other issues

Call upon States to require airlines to

provide API

IATA

AIRLINES

State API System

INTERPOL SLTD

database

WCO/IATA/ICAO guidelines

UNCTED UNODC

IOM OSCE

ICAO Annex 9

Facilitation

Stds 9.5, 9.6, 9.8, 9.9; RPs 9.1, 9.7: key API SARPs

UUN SEC RES

2309

Technical Cooperation Bureau (TCB) ICAOHQ@ICAO.INT

Date 25

Contact Details

Name: Jitu Thaker Email: jthaker@icao.int